Regulatory Documents

Select regulatory documents by category:

Notice 2022-14 - Informational Notice

Publication date: 12/13/2022

MSRB Amends Rule A-12, on Registration, and Provides Accompanying Form A-12 Changes

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-12

Notice 2022-12 - Informational Notice

Publication date: 11/16/2022

MSRB Extends Regulatory Relief for Remote Inspections and Files Amendments to Remove Expired Professional Qualifications Relief

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule G-3, Rule G-27

Notice 2022-10 - Informational Notice

Publication date: 10/31/2022

MSRB Seeks Volunteers for FY 2023 Compliance Advisory Group

Information for:

Bank Dealers, Dealers, Municipal Advisors, Municipal Fund Securities

Notice 2022-09 - Informational Notice

Publication date: 08/30/2022

MSRB Amends Rule G-3 on Dealer Continuing Education Program Requirements

Information for:

Dealers

Rule Number:

Rule G-3

Notice 2022-08 - Approval Notice

Publication date: 08/26/2022

SEC Approves Amendments to Rule G-34 to Better Align the CUSIP Requirements for Underwriters and Municipal Advisors with Current Market Practices

Information for:

Bank Dealers, Dealers, Investors, Municipal Advisors

Rule Number:

Rule G-34

Notice 2022-06 - Informational Notice

Publication date: 07/29/2022

MSRB Revises and Resubmits Annual Rate Card Amendments

Information for:

Dealers, Municipal Advisors

Rule Number:

Rule A-11, Rule A-12, Rule A-13

Notice 2022-05 - Informational Notice

Publication date: 07/25/2022

MSRB to End Regulatory Relief that Extended Certain Professional Qualification Requirements Due to COVID-19

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-3

Notice 2022-04 - Informational Notice

Publication date: 06/24/2022

MSRB Applies Regulation Best Interest to Bank-Dealers and Amends the Quantitative Suitability Standard for Institutional SMMPs

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-19, Rule G-48

Notice 2022-03 - Informational Notice

Publication date: 06/02/2022

MSRB Amends Certain Fees for Dealers and Municipal Advisors and Proposes an Annual Rate Card Process

Information for:

Bank Dealers, Dealers, Issuers

Rule Number:

Rule A-11, Rule A-12, Rule A-13

Notice 2022-02 - Informational Notice

Publication date: 03/02/2022

MSRB Provides Additional Regulatory Relief During COVID-19 Pandemic by Further Extending the Temporary Timeframe for Remote Office Inspections

Information for:

Bank Dealers, Dealers

Rule Number:

Rule G-27

Notice 2022-01 - Informational Notice

Publication date: 01/13/2022

Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing

Information for:

Bank Dealers, Dealers, Municipal Advisors

Rule Number:

Rule A-18

Notice 2010-62 - Informational Notice

Publication date: 12/30/2010

SEC Approves Transaction Fee Increase and New Technology Fee

Rule Number:

Rule A-13

Notice 2010-60 - Informational Notice

Publication date: 12/29/2010

MSRB Municipal Advisor Registration Deadline and SEC Guidance on Definition of Municipal Advisor

Notice 2010-61 - Informational Notice

Publication date: 12/29/2010

MSRB Publishes SHORT System Technical Specifications for SEC-Approved Additional Increases in Transparency of Municipal Auction Rate Securities and Variable Rate Demand Obligations

Rule Number:

Rule G-34

Notice 2010-59 - Informational Notice

Publication date: 12/23/2010

MSRB Fair Dealing Rule for Municipal Advisors Approved

Rule Number:

Rule G-17

Notice 2010-58 - Informational Notice

Publication date: 12/20/2010

MSRB Reminder About Los Angeles, CA Outreach Seminar

Notice 2010-57 - Informational Notice

Publication date: 12/17/2010

Reminder: Interpretation on Dealer-Controlled Political Action Committees Under Rule G-37

Rule Number:

Rule G-37

Notice 2010-56 - Informational Notice

Publication date: 12/16/2010

Amendments to Rule G-32 Related to Submission of Information About Continuing Disclosure Undertakings Effective February 14, 2011

Rule Number:

Rule G-32

Notice 2010-55 - Informational Notice

Publication date: 12/13/2010

Reminder to Municipal Advisors About January 1, 2011 Registration Deadline

Rule Number:

Rule A-12

Notice 2010-53 - Informational Notice

Publication date: 12/01/2010

MSRB Makes Technical Changes to SEC Filing on Nominating Committee Proposal

Rule Number:

Rule A-3

Notice 2010-54 - Informational Notice

Publication date: 12/01/2010

Reminder of Changes to the Continuing Disclosure Service of the EMMA System Relating to New SEC Rule 15c2-12 Provisions

Notice 2010-52 - Informational Notice

Publication date: 11/29/2010

MSRB to Host Outreach Seminar in Los Angeles

Notice 2010-51 - Informational Notice

Publication date: 11/24/2010

MSRB Receives SEC Approval to Modify Transaction Data Subscription Services

Notice 2010-49 - Informational Notice

Publication date: 11/15/2010

MSRB Amends Registration Rules for Dealers and Municipal Advisors

Notice 2010-50 - Informational Notice

Publication date: 11/15/2010

Regulatory Documents for the
Municipal Market

Select regulatory documents by category:

Regulatory Document Type

MSRB Amends Rule A-12, on Registration, and Provides Accompanying Form A-12 Changes

MSRB Extends Regulatory Relief for Remote Inspections and Files Amendments to Remove Expired Professional Qualifications Relief

MSRB Seeks Volunteers for FY 2023 Compliance Advisory Group

MSRB Amends Rule G-3 on Dealer Continuing Education Program Requirements

SEC Approves Amendments to Rule G-34 to Better Align the CUSIP Requirements for Underwriters and Municipal Advisors with Current Market Practices

MSRB Revises and Resubmits Annual Rate Card Amendments

MSRB to End Regulatory Relief that Extended Certain Professional Qualification Requirements Due to COVID-19

MSRB Applies Regulation Best Interest to Bank-Dealers and Amends the Quantitative Suitability Standard for Institutional SMMPs

MSRB Amends Certain Fees for Dealers and Municipal Advisors and Proposes an Annual Rate Card Process

MSRB Provides Additional Regulatory Relief During COVID-19 Pandemic by Further Extending the Temporary Timeframe for Remote Office Inspections

Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing

SEC Approves Transaction Fee Increase and New Technology Fee

MSRB Municipal Advisor Registration Deadline and SEC Guidance on Definition of Municipal Advisor

MSRB Publishes SHORT System Technical Specifications for SEC-Approved Additional Increases in Transparency of Municipal Auction Rate Securities and Variable Rate Demand Obligations

MSRB Fair Dealing Rule for Municipal Advisors Approved

MSRB Reminder About Los Angeles, CA Outreach Seminar

Reminder: Interpretation on Dealer-Controlled Political Action Committees Under Rule G-37

Amendments to Rule G-32 Related to Submission of Information About Continuing Disclosure Undertakings Effective February 14, 2011

Reminder to Municipal Advisors About January 1, 2011 Registration Deadline

MSRB Makes Technical Changes to SEC Filing on Nominating Committee Proposal

Reminder of Changes to the Continuing Disclosure Service of the EMMA System Relating to New SEC Rule 15c2-12 Provisions

MSRB to Host Outreach Seminar in Los Angeles

MSRB Receives SEC Approval to Modify Transaction Data Subscription Services

MSRB Amends Registration Rules for Dealers and Municipal Advisors

MSRB Opens Municipal Advisor Registration System

Guidance, Notices & Resources

MSRB Rule Book

MSRB Regulatory News

Never miss an important update

Regulatory Documents for the Municipal Market

Select regulatory documents by category:

Regulatory Document Type

MSRB Rule Book

MSRB Regulatory News

Never miss an important update

Regulatory Documents for the
Municipal Market